Federal regulations · Through 2026-08-25 · Newer source version available

17 CFR 404.1: Application of part to registered brokers and dealers.

Where this section sits in the code

Title 17—Commodity and Securities Exchanges
CHAPTER IV—DEPARTMENT OF THE TREASURY
SUBCHAPTER A—REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934
PART 404—RECORDKEEPING AND PRESERVATION OF RECORDS

Compliance by a registered broker or dealer with § 240.17a-3 of this title (pertaining to records to be made), § 240.17a-4 of this title (pertaining to preservation of records), § 240.17a-13 of this title (pertaining to quarterly securities counts) and § 240.17a-7 of this title (pertaining to records of non-resident brokers or dealers), including provisions in those rules relating to OTC derivatives dealers, constitutes compliance with this part.

Collected 2026-08-27T02:24:31Z. Source file · JSON

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